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SR

Summer B. Rogan

Some features on this profile are disabled
CRD#: 4991851
SR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Summer Baskin Rogan, who also goes by Summer Baskin, Summer B. Baskin, Summer Baskin Ganzer, Summer Baskin Kaviani, Summer Lee, was a registered financial professional .

Summer is a previously registered financial professional and started their career in finance in 2005. Summer had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Summer Baskin | Summer B. Baskin | Summer Baskin Ganzer | Summer Baskin Kaviani | Summer Lee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 2, 2021 - August 16, 2022

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Sanford, FL
Past

October 29, 2021 - August 16, 2022

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Sanford, FL
Past

May 22, 2019 - November 2, 2021

IFP SECURITIES, LLC

BD
CRD#: 297287
Sanford, FL
Past

September 11, 2013 - November 2, 2021

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
Sanford, FL
Past

August 26, 2013 - May 23, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
SANFORD, FL
Past

September 23, 2008 - August 30, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
LAKELAND, FL
Past

September 19, 2008 - August 30, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
LAKELAND, FL
Past

September 24, 2007 - September 22, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ORLANDO, FL
Past

September 14, 2007 - September 22, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ORLANDO, FL
Past

February 22, 2006 - June 7, 2007

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
ALTAMONTE SPG, FL
Past

October 31, 2005 - January 27, 2006

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA
Registered Investment Advisory firm - (11/23/2001 Approved)
Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)
Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/28/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/27/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/28/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA
Registered Investment Advisory firm - (11/23/2001 Approved)
Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)
Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)
JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts29,614
AUM (Assets Under Management)$ 7,195,237,282

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

J. W. COLE ADVISORS, INC.

CRD#: 112294

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